Merrill Lynch, Pierce, Fenner & Smith Inc. 

NY

  SEC # 728612

        

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2,393  SEC Filings   from  2/13/98  to  2/14/24  (2 Months Ago)

List All Filings	or	Filer / Offerer   Owner / Insider   Issuer / Subject Company   Filing Agent
Most-Recent Filing:		‘13F-NT’ — Quarterly Holdings Notice by a Money Manager — Form 13F — for 12/31/23 — Filed as:  Filer / Offerer
New-Filing E-Mail:			Send me notifications of all Filings involving  Merrill Lynch, Pierce, Fenner & Smith Inc.

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Forms , Documents & Exhibits  in  2,179 Filings  Filed as:  Filer / Offerer  or  Owner / Insider

        

Latest Filing			Type		Category	Description		Documents
2/14/24			13F-NT		Ownership:		Quarterly Holdings Notices by Money Managers — Form 13F — Assets Under Management	97
2/16/21	OLD		ABS-15G		ABS:		Asset-Backed Securities Securitizer Report — Form ABS-15G  OLD	1
7/15/19	OLD		4		Ownership:		Statements of Changes in Beneficial Ownership of Securities by Insiders — Form 4  OLD	755
11/25/14	OLD		40-APP		Registration:		Applications for Exemption Orders and Other Relief by Investment Companies  OLD	12
2/14/14	OLD		3		Ownership:		Initial Statements of Beneficial Ownership of Securities by Insiders — Form 3  OLD	266
1/23/12	OLD		15-15D		Update:		Notices of Suspensions of Duty to File Reports — Form 15  OLD	17
1/23/12	OLD		EFFECT		SEC:		SEC Notices of Effectiveness  OLD	86
1/11/12	OLD		POS AM		Registration:		Post-Effective Amendments of Registration Statements  OLD	213
12/20/11	OLD		424B3		Registration:		Prospectuses – New Facts or Events  OLD	553
5/27/10	OLD		CORRESP		Comment:		Comment-Response or Other Letter to the SEC  [ a.k.a. COVER ]  OLD  — All Correspondence with the SEC	1
3/3/10	OLD		APP WD		Registration:		Withdrawals of Applications for Exemption Orders and Other Relief  OLD	2
2/4/10	OLD		5		Ownership:		Annual Statement of Changes in Beneficial Ownership of Securities by an Insider — Form 5  OLD	1
6/22/09	OLD		NO ACT		SEC:		SEC No-Action Letter re: a Shareholder Proposal  OLD	1
12/17/08	OLD		SC 13D		Ownership:		Statements of Acquisitions of Beneficial Ownership by “Active” Investors — Schedule 13D  OLD	4
11/10/08	OLD		SC 13G		Ownership:		Statements of Acquisitions of Beneficial Ownership by “Passive” Investors — Schedule 13G  OLD	104
6/8/07	OLD		8-K		Update:		Current Reports — Form 8-K  OLD  — Press Releases & Conference Calls	4
					8-K Items:
6/8/07	OLD		Events:			•	Other Events — Item 8.01  OLD	1
6/8/07	OLD		Financials:			•	Financial Statements and Exhibits — Item 9.01  OLD	2
5/7/03	OLD		POS EX		Registration:		Post-Effective Amendment of a Registration Statement – Additional Exhibits  OLD	1
5/3/01	OLD		424B4		Registration:		Prospectuses – Info Previously Omitted & New Facts or Events  OLD	13
2/13/01	OLD		S-1		Registration:		Registration Statements (General Form) — Form S-1  OLD	52
6/23/00	OLD		424B1		Registration:		Prospectuses – Info Previously Omitted  OLD	6
11/23/99	OLD		8-A12B		Registration:		Registration Statements for Certain Classes of Securities — Form 8-A  OLD	3
5/11/99	OLD		13F-HR		Ownership:		Quarterly Holdings and Combination Report by a Money Manager — Form 13F  OLD  — Assets Under Management	1
					General Exhibits:
1/11/12	OLD		EX-24		Powers of Attorney  OLD			166
7/14/03	OLD		EX-8		Opinions of Counsel re: Tax Matters  OLD			41
5/7/03	OLD		EX-4		Instruments, Including Indentures, Defining the Rights of Security Holders  OLD			49
2/9/01	OLD		EX-5		Opinions of Counsel re: Legality  OLD			22
					Additional Exhibits:
7/15/19	OLD		EX-99		Miscellaneous Exhibits, such as Press Releases  OLD  — Press Releases & Conference Calls			12
					Graphics:
10/3/12	OLD		GRAPHIC		Photos, Images and Graphs  OLD			417

History as a Money Manager:  Assets Under Management  ·  Related Money Managers

Forms , Documents & Exhibits  in  2 Filings  Filed re:  Issuer / Subject Company

        

        

Latest Filing			Type		Category	Description		Documents
8/12/08	OLD		25-NSE		Trading:		Notice by a Securities Exchange of the Removal from Listing and Registration of Matured, Redeemed or Retired Securities — Form 25  OLD	1
					Letters:
4/27/10	OLD		LETTER		Comment or Other Letter from the SEC  [ a.k.a. UPLOAD ]  OLD  — All Correspondence with the SEC			1
					Additional Exhibits:
8/12/08	OLD		EX-99		Miscellaneous Exhibit  OLD			1

        

Filings History

Year		# of Filings
2024		1
2023		4
2022		4
2021		5
2020		4
2019		5
2018		8
2017		5
2016		10
2015		8
2014		25
2013		18
2012		76
2011		478
2010		139
2009		324
2008		200
2007		297
2006		91
2005		98
2004		104
2003		118
2002		104
2001		92
2000		118
1999		41
1998		16